Investment Adviser Representative Summary

RAUL RENE DE LA GARZA (CRD# 2406879)

Alternate Names:RAUL RENE DELAGARZA

The report summary provides an overview of the Investment Adviser Representative's professional background and conduct. The information contained in this report has been provided by the Investment Adviser Representative, investment adviser and/or securities firms, and/or securities regulators as part of the states' investment adviser registration and licensing process. The information contained in this report was last updated by the Investment Adviser Representative, a previous employing firm, or a securities regulator on 01/18/2011.

CURRENT EMPLOYERS

This individual is not currently registered as an Investment Adviser Representative.

QUALIFICATIONS

This individual is not currently registered as an Investment Adviser Representative.

Note: Not all jurisdictions require IAR registration or may have an exemption from registration.
Additional information including this individual's qualification examinations and professional designations is available in the Detailed Report.

REGISTRATION HISTORY

This Investment Adviser Representative was previously registered with the following Investment Adviser firms:

FIRM (IARD#) - LOCATION

REGISTRATION DATES

METLIFE SECURITIES INC.
(IARD# 14251)
- HOUSTON, TX

03/01/2007 - 01/18/2011

AMERIPRISE FINANCIAL SERVICES, INC.
(IARD# 6363)
- HOUSTON, TX

03/22/2005 - 11/09/2006

UBS FINANCIAL SERVICES INC.
(IARD# 8174)
- AUSTIN, TX

03/29/2004 - 11/03/2004

For additional registration and employment history details as reported by the individual, refer to the Registration and Employment History section of the Detailed Report.

DISCLOSURE INFORMATION

Disclosure events include certain criminal charges and convictions, formal investigations and disciplinary actions initiated by regulators, customer disputes and arbitrations, and financial disclosures such as bankruptcies and unpaid judgments or liens.

Are there events disclosed about this Investment Adviser Representative? Yes

The following types of events are disclosed about this Investment Adviser Representative:

Type

Count

Judgment/Lien

1

BROKER DEALER INFORMATION

This individual previously was registered as an investment adviser representative and a broker. For more information about this individual's record as a broker, visit FINRA's BrokerCheck website at: http://www.finra.org/brokercheck